Disciplinary Proceedings Against Winkel
2015 WI 68, 7/7/2015 (2015)
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ATTORNEY disciplinary
proceeding. Attorney's license
suspended.
¶1 PER CURIAM. Attorney David J.
Winkel appeals the report of Reserve Judge
Robert E. Kinney, referee, recommending
discipline of a four-month license
suspension and the imposition of costs. The
referee found that Attorney Winkel committed
all of the five charged counts of misconduct
that were tried at a hearing before the
referee. The ethical violations which the
referee determined Attorney Winkel committed
include incompetent representation, lack of
diligence, failure to properly communicate
with his client, and willful failure to
provide relevant information, fully answer
questions, or furnish documents in the
course of an Office of Lawyer Regulation
(OLR) investigation.
¶2 After our independent review of the
record, we approve the referee's findings of
fact and conclusions of law and adopt them.
We conclude that Attorney Winkel's
misconduct warrants a four-month license
suspension. We require Attorney Winkel to
pay the full costs of this disciplinary
proceeding, which total $42,634.13 as of
February 25, 2015.
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¶3 Attorney Winkel was licensed to
practice law in Wisconsin in 1984 and
practices in Neenah. Attorney Winkel's
prior disciplinary history includes a public
reprimand in 1998 for failing to adequately
prepare to represent his clients and to
explain their legal matters to them, for
failing to competently represent a client in
an estate matter, for misrepresenting that
he had prepared a document, for failing to
respond to successor counsel's requests for
information and for the client's file, and
for failing to respond to the disciplinary
investigation. See In re Disciplinary
Proceedings Against Winkel, 217 Wis. 2d
339, 577 N.W.2d 9 (1998). Attorney Winkel
was publicly reprimanded again in 2005 for
submitting a fee request to the Social
Security Administration that misrepresented
the amount of time spent by his firm in
handling a case on behalf of a client. In
re Disciplinary Proceedings Against
Winkel, 2005 WI 165, 286 Wis. 2d 533, 706
N.W.2d 661.
¶4 In August 2012, the OLR filed a six-
count complaint against Attorney Winkel.
This court appointed Reserve Judge Kinney as
referee. The referee dismissed one count of
the complaint upon stipulation of the
parties. The referee held an evidentiary
hearing on the remaining five counts over
three days in October and November 2013.
Both sides submitted post-hearing briefs.
¶5 In March 2014, the referee submitted
a report containing his findings of fact,
conclusions of law, and a recommendation for
discipline. The referee's findings of fact
and conclusions of law are summarized below.
¶6 All counts in this case arise out of
Attorney Winkel's representation of P.L., an
inmate in the Wisconsin prison system. P.L.
hurt his leg during recreational activities
in the prison yard. A methicillin—resistant
staphylococcus aureus (MRSA) infection later
developed in the leg.
¶7 P.L. was taken to the prison's
Health Services Unit (HSU). There, the
nurse observed the leg, gave him some
antibiotics, and, using a marker, drew a
circle around the visible sore on his leg.
She then advised P.L. to return to the HSU
if the infection progressed outside the
circle.
¶8 The next morning, P.L. saw that the
infection had progressed outside the
circle. At about 11:00 a.m., P.L. called a
guard and explained the situation. At about
11:30 a.m., the guard contacted the HSU, and
a nurse ("Nurse Jane Doe") told the guard to
have P.L. fill out a "blue slip." "Blue
slips" are completed by inmates to request
routine health care services. "Blue slips"
are only collected once a day at the end of
the day, and they are not intended to be
used in emergency situations.
¶9 P.L. continued to demand medical
attention. At around 4:00 p.m., P.L. was
taken to the HSU where he was seen by a
physician. The physician directed that P.L.
be transported to a local hospital. Within
two hours of being admitted to the hospital,
surgery was performed to drain the MRSA
infection in P.L.'s leg. P.L. remained in
the hospital as an in—patient for seven
days, all the while being administered
intravenous antibiotics to control the MRSA
infection.
¶10 P.L., acting pro se, filed an Eighth
Amendment ("cruel and unusual punishment")
civil rights case in the United States
District Court for the Western District of
Wisconsin. P.L. sought monetary damages
based on his claim that, by delaying his
treatment, prison officials had been
deliberately indifferent to his serious
medical need.
¶11 P.L. hired Attorney Winkel to
represent him in his Eight Amendment civil
rights suit. P.L. knew Attorney Winkel
because Attorney Winkel had represented him
on a number of previous occasions.
¶12 Under a written fee agreement, P.L.
agreed to pay Attorney Winkel an hourly rate
of $200 per hour in this matter, but the
hourly fee would only be charged if P.L. was
entitled to attorney fees from the
defendants. If P.L. was not awarded
attorney fees, Attorney Winkel would receive
40% of any recovery. P.L. paid Attorney
Winkel an advance of $2,500 to be used to
cover expert witness fees and discovery
costs. The fee agreement required that at
the conclusion of the representation,
Attorney Winkel would return all unearned
fees and costs advanced by P.L.
¶13 Attorney Winkel formally appeared on
P.L.'s behalf but did little else of value.
Attorney Winkel never identified certain
unnamed defendants, such as the identity
of "Nurse Jane Doe"——the nurse who told the
guard to have P.L. submit a "blue slip"
requesting routine health care services.
Attorney Winkel also failed to timely
disclose P.L.'s expert witnesses. Instead,
over two months after the expert disclosure
deadline had passed, Attorney Winkel filed a
motion to extend the deadline, along with a
late-filed expert disclosure.
¶14 Defendants moved to strike Attorney
Winkel's late-filed expert disclosure.
Defendants also moved for summary judgment.
¶15 Attorney Winkel was in a poor
position to respond to the defendants'
summary judgment motion. Attorney Winkel
had not conducted depositions of defendants,
had not served any discovery demands, had
not served any requests for production of
documents, had not served any
interrogatories, and had not ascertained the
identities of the unnamed defendants. He
also had failed to timely answer the
defendants' interrogatories, even though the
defendants had granted him an extension in
which to do so.
¶16 Four days after the summary judgment
response brief was due, Attorney Winkel
filed a document entitled "Objection to
Motion for Summary Judgment." This document
failed to respond in any material way to the
defendants' summary judgment motion.
¶17 The district court, in a September
29, 2009 order written by Magistrate Judge
Crocker, granted the defendants' motion for
summary judgment, denied Attorney Winkel's
motion to extend the expert disclosure
deadline, denied the defendants' motion to
strike Attorney Winkel's expert witness
disclosure as moot, and directed the clerk
of court to enter judgment in favor of
defendants and to close the case. In the
summary judgment order, Magistrate Judge
Crocker stated:
Plaintiff's case has been doomed by
his failure, through his attorney, to meet
several deadlines or to respond properly to
defendants' motion for summary
judgment. . . .
. . . . Plaintiff has never sought to
amend his complaint to include the names of
the [unnamed] defendants. It is impossible
to pursue a claim against unnamed
defendants. Despite defendants having
raised this issue on summary judgment,
plaintiff did not respond to it. . . .
Further, the deadline to disclose
expert witnesses——the type of witnesses who
might be critical in an Eighth Amendment
medical treatment lawsuit——passed without
plaintiff disclosing any such witnesses.
Instead of seeking an extension of the
deadline before it passed, plaintiff waited
until . . . over two months after the
deadline, to file a motion seeking to amend
the briefing schedule by extending the
expert disclosure deadline. Plaintiff's
attorney's explanation for the delay is that
it was "very difficult" to find a doctor.
Perhaps this is true, but it is
unpersuasive. One might logically expect
that locating a qualified physician and
obtaining a useful expert opinion would have
been at the top of plaintiff's "To Do" list,
perhaps even ahead of "File Complaint."
Regardless of the delay in finding and
disclosing an expert, extending the expert
disclosure deadline would not help
plaintiff. The expert doctor's proposed
testimony would be irrelevant to the
constitutional issues in this civil rights
lawsuit. Plaintiff's attorney notes that
plaintiff's newly found doctor expert will
testify regarding "whether there was any
negligence in [the] medical care" provided
by defendants. However, establishing a
violation of a prisoner's rights under the
Eighth Amendment requires deliberate
indifference on part of the officials, and
deliberate indifference entails more
than "mere negligence." . . .
Plaintiff also failed to timely
respond to defendants' motion for summary
judgment. . . . Despite having 30 days to
respond to defendants' motion, plaintiff did
not file anything regarding defendants'
motion until August 28, 2009. The document
filed, "Objection to Motion for Summary
Judgment," fails to respond in any material
way to defendants' motion. . . .
(Docket citations omitted; emphasis added by
Magistrate Judge Crocker.)
¶18 Despite the issuance of this order,
P.L. remained unaware for many weeks that
the defendants had moved for summary
judgment, or that Magistrate Judge Crocker
had granted the defendants' motion for
summary judgment. Several weeks after the
court had entered summary judgment against
his case, P.L. asked Attorney Winkel to try
to settle the case for between $5,000 and
$10,000. A few weeks later, P.L. sent
another letter to Attorney Winkel asking
what had happened to the scheduled trial
date, which had just passed. P.L. asked
Attorney Winkel whether he had settled the
case or had gotten the trial postponed
without P.L.'s permission. P.L. also asked
Attorney Winkel what discovery he had
obtained, and whether Attorney Winkel had
determined which nurse had been working at
the prison on the day in question.
Attorney Winkel wrote back to P.L. with the
following:
I see that you were unable to obtain
any useful opinions from the hospital; which
is the same problem I had. You and I talked
about this. I could not get any offers from
the state because we had no ammunition.
Sometimes, a party cannot prove in court
what we know to be true. This is one of
those cases.
As such, enclosed please find a check
from my trust account for the balance of
your money for the lawsuit, since we do not
have adequate evidence to make it worthwhile
to pursue the matter any further, nor can we
get over Motions for Summary Judgments.
This will hopefully allow you to
concentrate on your remaining time and
getting out on a good note.
(Emphasis in original.) Attorney Winkel
handwrote on the bottom of the letter a note
that states: "I paid [the medical expert]
$400, and CBS 6.59 [for collect phone
calls], leaving $2,093.41 for you. Sorry we
couldn't get a settlement offer."
¶19 In a subsequent letter to Attorney
Winkel, P.L. wrote that he had never
authorized Attorney Winkel to cease
litigation; that he wanted the case
reopened; and that he wanted copies of all
discovery so that he could represent
himself.
¶20 On December 21, 2009, P.L. sent a
letter to United States District Court Judge
Barbara B. Crabb, stating that Attorney
Winkel had stopped litigating the case
without P.L.'s consent and that he wanted to
litigate the case pro se. A pro se case
analyst from the Western District wrote back
to P.L., explaining that the case was closed
and enclosing a copy of the docket sheet and
final order.
¶21 P.L. ultimately filed a grievance
with the OLR against Attorney Winkel. In
his response to the grievance, Attorney
Winkel told the OLR that he had personally
mailed P.L. a copy of defendants' motion for
summary judgment, as well as a handwritten
note asking P.L. if he wanted Attorney
Winkel to arrange for medical testimony to
rebut the defendants' arguments. Attorney
Winkel also told the OLR that he had
informed P.L. that the case was dismissed
and no trial would be held.
¶22 In August 2012, the OLR filed a
complaint against Attorney Winkel. As
relevant here, the complaint charged
Attorney Winkel with the following counts of
misconduct.
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• Count One: By failing to properly
oppose defendants' motion for summary
judgment, and by failing to display the
knowledge and skills necessary to
competently represent P.L. in the Eighth
Amendment civil rights case, Attorney Winkel
violated Supreme Court Rule (SCR)
20:1.1.
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• Count Two: By failing to oppose
defendants' motion for summary judgment by
the court—ordered deadline, by failing to
file an expert witness disclosure by the
court-ordered deadline, by failing to amend
plaintiff's complaint to reflect the name of
the "Jane Doe" defendant, and by failing to
conduct any meaningful discovery in P.L.'s
case, Attorney Winkel violated SCR
20:1.3.
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• Count Three: By failing to inform
P.L. of defendants' motion for summary
judgment, by failing to inform P.L. that the
court granted defendants' motion for summary
judgment, by failing to provide P.L. with
copies of defendants' motion for summary
judgment and the order granting defendants'
summary judgment, and by failing to keep
P.L. apprised of the status of the case,
Attorney Winkel violated SCR 20:1.4(a)
(3).
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• Count Five: By concealing from P.L.
that defendants made a motion for summary
judgment and that the court granted
defendants' motion, leading to the dismissal
of the action, Attorney Winkel violated SCR
20:8.4(c).
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• Count Six: Having concealed from
P.L. that defendants made a motion for
summary judgment and that the court granted
defendants' motion, leading to the dismissal
of the action, and by thereafter
representing to the OLR that he had informed
P.L. of the aforesaid events, Attorney
Winkel violated SCR 22.03(6),enforced under
SCR 20:8.4(h).
¶23 After a three-day hearing, the
referee determined that Attorney Winkel had
committed each of the above five counts of
misconduct. The referee's reasoning may be
summarized as follows.
¶24 As to Counts One and Two
(incompetent representation and lack of
diligence), the referee found that Attorney
Winkel had never before litigated a
deliberate indifference claim; that,
although Attorney Winkel claimed to have
performed research, he did not copy any
cases, make any notes, or bill any time for
legal research; and that he used the wrong
legal standard in his expert witness
disclosure. The referee noted that Attorney
Winkel's filings with the district court——
particularly his motion to extend already-
expired deadlines and his "objection" to the
defendants' summary judgment motion——gave
the impression that he "did not know what he
was doing, that he was over his head." The
referee noted that there were many actions
that Attorney Winkel could have taken to
advance P.L.'s case (e.g., he could have
filed an expert affidavit, medical
literature, and a brief explaining that MRSA
infections require immediate medical
attention), but he failed to do anything of
substance. The referee wrote that while
Attorney Winkel may not have been able to
defeat defendants' summary judgment motion,
he needed to do more than what he did in
order to provide competent representation.
¶25 The referee next addressed Counts
Three and Five, which involve Attorney
Winkel's failure to properly communicate
with P.L. Attorney Winkel told the referee
that he had sent P.L. all of the important
case documents, as proven by his writings on
a series of post-it notes directing his
secretary to send the documents to P.L. The
referee rejected Attorney Winkel's claim.
The referee noted that Attorney Winkel's
secretary testified at deposition that she
neither had a recollection of sending the
documents, nor could she discern from the
post-it notes whether they had been sent.
The secretary also testified at deposition
and at the hearing that she could not tell
if any of thirteen different crucial
documents had been sent to P.L. The referee
noted that Attorney Winkel's post-it
note "system" had only a "veneer of
documentary evidence," and was not the type
of contemporaneous written evidence on which
attorneys and judges customarily rely as
proof of mailing.
¶26 The referee also remarked that one
particular letter from Attorney Winkel
showed both his dishonesty and his failure
to adequately communicate with P.L. In a
letter to P.L. written after the district
court had granted summary judgment to the
defendants, Attorney Winkel stated that "we
do not have adequate evidence to make it
worthwhile to pursue the matter any further,
nor can we get over Motions for Summary
Judgments." The referee reasoned that
Attorney Winkel would not have written this
statement if he had previously advised P.L.
of the truth of the matter: that the case
had been dismissed on summary judgment many
weeks earlier. The referee further reasoned
that, given P.L.'s litigious nature,
Attorney Winkel had an incentive to gloss
over the already-dismissed status of the
case in order to avoid a legal malpractice
claim.
¶27 The referee next moved to Count Six,
which charged Attorney Winkel with willfully
failing to provide relevant information,
fully answer questions, or furnish documents
in the course of an OLR investigation. The
referee noted that in his answers to the
OLR's requests for admission, Attorney
Winkel denied that: (1) he failed to
provide P.L. with a copy of defendants'
motion for summary judgment; (2) he failed
to inform P.L. that the district court had
granted defendants' motion for summary
judgment; and (3) he failed to provide P.L.
with a copy of the order granting
defendants' motion for summary judgment.
The referee held that Attorney Winkel's
denials amounted to misrepresentation and a
willful failure to provide relevant
information to the OLR.
¶28 With that, the referee concluded
that Attorney Winkel engaged in professional
misconduct as set forth in Counts One, Two,
Three, Five, and Six.
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¶29 The referee next addressed the issue
of sanctions. The referee found the
following aggravating factors to be
present: the existence of a prior
disciplinary record; a pattern of
misconduct; the presence of multiple
offenses; an intentional failure to comply
with disciplinary rules or orders; the
submission of false evidence, statements, or
other deceptive practices during the
disciplinary process; a refusal to
acknowledge the wrongful nature of conduct;
substantial experience in law practice at
the time in question; and harm to a client.
Of these aggravating factors, the one that
most concerned the referee was Attorney
Winkel's tendency to misrepresent the
truth. This tendency was noticeable in
Attorney Winkel's previous two disciplinary
matters, the referee noted. See
Winkel, 2005 WI 165; Winkel, 217
Wis. 2d 339.
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¶30 On the mitigating side, the referee
found only one factor: the remoteness in
time of Attorney Winkel's prior offenses.
¶31 The referee noted the range of
sanctions imposed in previous, arguably
similar cases: In re Disciplinary
Proceedings Against Harris, 2013 WI 8, 345
Wis. 2d 239, 825 N.W. 2d 285 (five-month
suspension for failing to inform client of
dismissal of matter and misrepresenting
status of matter that had been dismissed);
and In re Disciplinary Proceedings Against
Hammis, 2011 WI 3, 331 Wis. 2d 19, 793
N.W. 2d 884 (four-month suspension for
billing the State Public Defender for work
the lawyer did not actually perform,
continuing to practice law after receiving
notice of administrative suspension,
willingly misleading a sitting judge about
whether or not he had a valid law license,
failing to refund unearned fees, and failing
to respond to the OLR); and In re
Disciplinary Proceedings Against Lister,
2010 WI 108, 329 Wis. 2d 289, 787 N.W.2d 820
(60-day suspension for failing to pursue
client's federal civil rights action,
failing to inform client that court had
dismissed lawsuit, failing to promptly
respond to numerous requests from successor
counsel to forward client's case file,
failing to refund to client unused balance
of retainer fee, and failing to return
messages left by the OLR).
¶32 Ultimately, the referee recommended
the imposition of a four-month suspension——
two months longer than what the OLR had
proposed in its complaint. The referee
wrote that the "aggravating factor which is
most concerning to me is [Attorney Winkel's]
submission of false evidence, false
statements or other deceptive practices
during the disciplinary hearing. This
factor would be very serious even if
[Attorney Winkel] had no prior disciplinary
history. Unfortunately, however, his prior
disciplinary history involves this very same
type of misconduct." The referee
continued:
I observed [Attorney Winkel's]
testimony over most of three (3) days. In
the opinion of this referee, he did not help
himself. While his answers were generally
carefully worded, they were oftentimes non-
responsive. Simple questions were met with
circumlocution and prevarication. [Attorney
Winkel's] own attorney asked him at his
deposition whether two particular documents
had been mailed to [P.L.] [Attorney
Winkel's] answer, that he did not know, and
he had no contemporaneous evidence on the
subject, is buried in layers of obfuscation.
Most disturbingly . . . there are
major contradictions between [Attorney
Winkel's] deposition testimony and his
hearing testimony. It is as if the time
between the deposition and the hearing was
used to shore up and correct perceived
shortcomings in his deposition
testimony.
The OLR's recommendation of a 60-day
suspension may have been appropriate before
the hearing started; by the time it ended it
was definitely not sufficient. Were I to
recommend a 60-day suspension here I would
be undercutting the values of truthfulness
and honesty which are at the very heart of
the legal system.
(Footnotes and citations omitted.)
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¶33 Attorney Winkel appeals. In
conducting our review, we will affirm the
referee's findings of fact unless they are
found to be clearly erroneous, but we will
review the referee's conclusions of law on a
de novo basis. See In re Disciplinary
Proceedings Against Inglimo, 2007 WI 126,
¶5, 305 Wis. 2d 71, 740 N.W.2d 125. The
court may impose whatever sanction it sees
fit regardless of the referee's
recommendation. See In re
Disciplinary Proceedings Against Widule,
2003 WI 34, ¶44, 261 Wis. 2d 45, 660 N.W.2d
686.
¶34 On appeal, Attorney Winkel does not
challenge any of the factual findings that
underlie the counts of misconduct or the
legal conclusions of misconduct. Attorney
Winkel challenges only whether the referee's
recommended sanction of a four-month
suspension is appropriate.
¶35 Attorney Winkel maintains that his
conduct warrants only a public reprimand.
In support of this claim, Attorney Winkel
levies a number of broad-based attacks on
the OLR's disciplinary hearing process.
Attorney Winkel argues, first, that his
disciplinary proceeding should have been
bifurcated to decide the merits issue
separate from the determination of
sanctions; otherwise, he says, it was
impossible for him to effectively contest
guilt and introduce mitigating evidence at
the same hearing. Attorney Winkel argues,
second, that the referee should not have
learned of his disciplinary history before
deciding the merits of a disciplinary case;
he theorizes that the referee's knowledge of
his disciplinary history possibly tainted
the referee's fact-finding. Attorney Winkel
argues, third, that the referee erred by
increasing his sanction recommendation based
on a finding that Attorney Winkel provided
unreliable testimony during the disciplinary
hearing; he argues that any suspicion of
untruthfulness on his part could only be
considered in the context of a brand-new
disciplinary proceeding.
¶36 In addition to these systemic
challenges to the OLR's disciplinary
process, Attorney Winkel levels various
criticisms at the referee's performance.
Attorney Winkel argues that the referee
failed to give him credit for returning to
P.L. the unused portion of the advance fee
payment; failed to appreciate that he has
acknowledged his deficiencies in handling
P.L.'s case; and failed to note that he did
not personally benefit from his misconduct.
He posits, as a mitigating factor, that his
misconduct did no harm given that——as
Attorney Winkel's counsel stated in
appellate briefing and at oral argument——
there was "no merit" to P.L.'s Eighth
Amendment civil rights case. Finally,
Attorney Winkel argues that the referee
failed to appreciate that he has already
been admonished by the district court in its
summary judgment order; that he has had to
incur significant legal bills in his defense
in this disciplinary matter; and that a
suspension will hurt him, his clients, and
his staff.
¶37 We reject all of Attorney Winkel's
arguments, starting first with his systemic
challenges to the OLR disciplinary process.
Attorney Winkel has forfeited any argument
that the disciplinary hearing should have
been bifurcated to decide the merits issue
separate from the determination of
sanctions. If Attorney Winkel truly
believed that the referee——an experienced
judge and referee——was incapable of
differentiating mitigating evidence from
admissions of misconduct, he should have
asked the referee to hold a bifurcated
hearing. He did not; he points to nowhere
in the record where such a request was
preserved. It is too late to complain about
it now. See In re Disciplinary
Proceedings Against Netzer, 2014 WI 7,
¶45, 352 Wis. 2d 310, 841 N.W.2d 820;
see also United States v. Boyd, 86
F.3d 719, 722 (7th Cir. 1996) (defendant
cannot "plant an error and grow a risk-free
trial").
¶38 We are also unpersuaded by Attorney
Winkel's argument that it was improper for
the referee to learn of Attorney Winkel's
disciplinary history before deciding the
merits of this case. Attorney Winkel
speculates that perhaps the referee, in
evaluating the merits of this case,
improperly assumed that it was more likely
that Attorney Winkel committed the charged
misconduct simply because he had previously
committed misconduct——akin to the forbidden
inference of criminal propensity that a jury
might draw from prior bad act evidence.
See Wis. Stat. § 904.04(2). But this
argument does not square with the fact that
Attorney Winkel challenges none of the
referee's factual findings or legal
conclusions of misconduct; his sole
challenge in this appeal is to the amount of
discipline that the referee recommended. We
also find absolutely no evidence to support
what Attorney Winkel seems to imply: that
the referee prejudged him and denied him a
fair opportunity to defend against the
misconduct charges.
¶39 Attorney Winkel is also mistaken in
arguing that, in making a sanctions
recommendation, neither the referee nor this
court may consider the referee's finding
that some of Attorney Winkel's hearing
testimony was unreliable. There is no
dispute that Attorney Winkel's testimony
during the disciplinary hearing would not
permit a separate, new misconduct finding in
this proceeding; due process considerations
dictate that attorneys receive fair notice
of misconduct charges against them and an
opportunity to respond. In re Ruffalo,
390 U.S. 544, 550-51 (1968). Neither can it
be disputed, however, that this court is
charged with the responsibility of
protecting the public from attorneys who are
not fully truthful.
¶40 Thus, this court will not simply
ignore the referee's uncontested findings
that Attorney Winkel's hearing testimony was
plagued with "non-responsive"
answers, "circumlocution and
prevarication," "layers of obfuscation," and
conflicts with deposition testimony. Just
as in criminal cases, where a trial court
may not add an additional term for perjury
to a convicted defendant's sentence but may
consider a defendant's veracity at trial as
part of the exercise of sentencing
discretion, so too is it entirely
appropriate for this court to consider
Attorney Winkel's attitude toward the truth
in formulating its disciplinary sanction.
See Lange v. State, 54 Wis. 2d 569,
575, 196 N.W.2d 680 (1972); see also
American Bar Association Standards for
Imposing Lawyer Sanctions, § 9.22(f)
(listing as an aggravating factor
the "submission of false evidence, false
statements, or other deceptive practices
during the disciplinary process"); see
also In re Disciplinary Proceedings
Against Eisenberg, 2013 WI 37, ¶34 n.9,
347 Wis.2d 116, 833 N.W.2d 46 (referee's
comments about the respondent
attorney's "conduct and testimony in this
proceeding are proper subjects of a
referee's report").
¶41 We also are unpersuaded by Attorney
Winkel's numerous criticisms of the
referee's performance. To begin, the
referee did not err in declining to credit
Attorney Winkel for his return to P.L. of
the unused portion of the advance fee
payment. Attorney Winkel was obligated to
return those funds by the terms of his fee
agreement.
¶42 The referee similarly did not err in
declining to credit Attorney Winkel for his
supposed regret over the way he handled
P.L.'s case. The referee was clearly
troubled by Attorney Winkel's demeanor
during the disciplinary hearing: the
referee described portions of his hearing
testimony as displaying a sense
of "exaggerated indignation" that was
both "specious and misplaced"; as
containing "major contradictions between
[his] deposition testimony and his hearing
testimony"; and as marked
by "circumlocution," "prevarication,"
and "layers of obfuscation." Given the
facts as they unfolded before the referee,
we do not question the referee's
determination that Attorney Winkel has not
shown that he fully appreciates the wrongful
nature of his conduct.
¶43 The referee also did not err in
declining to view as a mitigating factor
Attorney Winkel's lack of personal benefit
from his misconduct. Attorney Winkel argues
in his appellate brief that he "did not
stand to gain anything personally by making
untimely filings or letting the case get
dismissed." While this statement may be
literally true, we do not find it
particularly comforting, especially given
our duty to protect the public from attorney
misconduct. See Preamble to SCR Chapter
21.
¶44 We are similarly unpersuaded by
Attorney Winkel's argument that the
meritless nature of P.L.'s civil rights
lawsuit counteracts his own
blameworthiness. Attorney Winkel states
explicitly in his briefs, and also stated at
oral argument, that P.L.'s lawsuit had "no
merit." It would be an odd disciplinary
system if maintaining a meritless lawsuit
counted as a mitigating circumstance,
especially since maintaining a meritless
lawsuit is itself a sanctionable offense.
See SCR 20:3.1.
¶45 Finally, while we acknowledge that a
suspension of Attorney Winkel's law license
may very well hurt his law practice, we have
previously made clear that such an effect is
not an appropriate factor in establishing a
level of discipline. See In re
Disciplinary Proceedings Against Lamb,
2011 WI 101, ¶31, 338 Wis. 2d 1, 806 N.W.2d
439 ("Any suspension of an attorney's
license to practice law is likely to have a
detrimental impact on the attorney's
livelihood.").
¶46 In the end, it appears that in this
disciplinary proceeding, Attorney Winkel
chose a litigation strategy he now regrets:
an "all or nothing" strategy of going for an
outright exoneration. The strategy failed,
leaving him with a record that contains
little mitigating evidence, an admonishment
from a federal magistrate judge, and a
referee's report bristling with factual
findings and credibility determinations
adverse to him. Having lost the battle on
the facts, he hopes to win the war on appeal
by attacking the fairness of the OLR
disciplinary process and the referee. We
reject Attorney Winkel's efforts.
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¶47 Turning specifically to the level of
discipline required, we disagree with
Attorney Winkel's argument that a public
reprimand will suffice. We must impose the
discipline needed to protect the public, the
courts, and the legal system from Attorney
Winkel's repetition of misconduct, to
impress upon him the seriousness of his
misconduct, and to deter other attorneys
from engaging in similar misconduct. See
In re Disciplinary Proceedings Against
Arthur, 2005 WI 40, ¶78, 279 Wis. 2d 583,
694 N.W.2d 910. We also must bear in mind
that discipline is generally progressive in
nature. See, e.g., In re Disciplinary
Proceedings Against Nussberger, 2006 WI
111, ¶27, 296 Wis.2d 47, 719 N.W.2d 501.
Considering these factors, we conclude that
more than a public reprimand is required.
This is the third time the court has had
occasion to discipline Attorney Winkel for
professional misconduct. Clearly, his two
previous public reprimands have not
sufficiently impressed upon him the need to
scrupulously adhere to the rules of
professional conduct for attorneys. His
course of conduct requires a license
suspension.
¶48 We further conclude that a
suspension greater than the 60-day minimum
suspension is in order. In re
Disciplinary Proceedings Against Grady,
188 Wis. 2d 98, 108–09, 523 N.W.2d 564
(1994) (explaining that generally the
minimum length of a license suspension is 60
days). We are particularly concerned with
the pattern of misconduct Attorney Winkel
has displayed: in both this case and in his
previous two disciplinary matters, Attorney
Winkel has shown a willingness to bend the
truth to help himself. We agree with the
referee's statement that a 60-day minimum
suspension would "undercut[] the values of
truthfulness and honesty which are at the
very heart of the legal system." We
therefore conclude, as did the referee, that
a four-month suspension is an appropriate
response, justified by our precedent.
See, e.g., Harris, 345 Wis. 2d 239
(five-month suspension for lawyer with
disciplinary history who failed to inform
client of dismissal of matter,
misrepresented the status of the matter that
had been dismissed, and failed to cooperate
with the OLR investigation).
¶49 Finally, we turn to the issue of
costs. The OLR has requested costs in the
total sum of $42,634.13. This amount
consists of $37,002.13 in pre-appeal costs,
and $5,632.00 in appellate costs. Attorney
Winkel does not challenge the pre-appeal
costs. He does, however, challenge the
appellate costs, claiming that they amount
to "piling on." Attorney Winkel also claims
that the OLR's appellate costs were
needlessly inflated by a change in its
position regarding the appropriate length of
suspension: at oral argument, the OLR asked
the court to impose the 60-day suspension
that it had requested in its complaint,
whereas in its appellate brief-in-chief, the
OLR asked the court to approve the referee's
recommendation of a four-month suspension.
Attorney Winkel argues that the OLR probably
performed some appellate work that
was "wasteful" in that it was not consistent
with the OLR's ultimate position.
¶50 We deny Attorney Winkel's
objection. Our rules require that a
respondent who objects to a statement of
costs "must state what he or she considers
to be a reasonable amount of costs." SCR
22.24(2). Attorney Winkel did not do so.
He apparently believes that a "reasonable
amount" of costs for the OLR to have
incurred on appeal is zero, as he asks this
court to deny the OLR's appellate costs in
their entirety. We decline to do so. As
shown by the discussion above, Attorney
Winkel has vigorously advocated on appeal
for the imposition of only a public
reprimand. He has advanced a wide variety
of substantive and procedural challenges to
the referee's report and recommendation, all
of which the OLR has responded to in
briefing and at oral argument. The OLR's
requested appellate costs of $5,632.00 do
not strike us as unreasonable or
unnecessary, nor do we have any reason to
believe that they were materially driven up
by the OLR's arguments as to the appropriate
suspension length.
¶51 IT IS ORDERED that the license of
David J. Winkel to practice law in Wisconsin
is suspended for a period of four months,
effective August 6, 2015.
¶52 IT IS FURTHER ORDERED that within 60
days of the date of this order, David J.
Winkel shall pay to the Office of Lawyer
Regulation the costs of this proceeding.
¶53 IT IS FURTHER ORDERED that David J.
Winkel shall comply with the provisions of
SCR 22.26 concerning the duties of a person
whose license to practice law in Wisconsin
has been suspended.
¶54 IT IS FURTHER ORDERED that
compliance with all conditions of this order
is required for reinstatement. See SCR
22.28(2).
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¶55 SHIRLEY S. ABRAHAMSON,
J. (concurring). I join the per
curiam. I write separately to point out
that Attorney Winkel's comments about
bifurcating the hearing to determine the
merits of the violation apart from
determining sanctions might be a subject of
study for the Lawyer Regulation Committee
that I am proposing.
¶56 On February 6, 2015, I filed rule
petition 15-01 to create supreme court rules
providing for a Lawyer Regulation Committee
to review the Rules of Professional Conduct
for Attorneys (chapters 20 and 22 of the
supreme court rules) and the organization,
operation, and procedures of the lawyer
discipline system, including the OLR,
District Committees, Preliminary Review
Committee, Referees, and Board of
Administrative Oversight, and to create a
Lawyer Regulation Review Committee. The
court unanimously agreed to conduct a public
hearing on this proposal in the fall of
2015. The subject of bifurcation can be a
subject of study for the Lawyer Regulation
Committee, if my rule petition is adopted.
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¶57 PATIENCE DRAKE ROGGENSACK,
C.J. (dissenting). The Office of
Lawyer Regulation (OLR) initially requested
that we impose 60 days suspension for the
six counts of misconduct that it alleged.
The referee recommended four months
suspension for the five counts that OLR
proved and for the referee's conclusion that
David J. Winkel was not honest in his
testimony. At oral argument, which was held
subsequent to the parties receiving the
referee's findings and recommendation, OLR
again requested that we impose 60 days
suspension for the five counts of
misconduct.
¶58 I respectfully dissent because by
imposing the referee's recommended four
month suspension, which is double what OLR
sought, the majority appears to have adopted
the referee's conclusion that Attorney
Winkel was not honest in his testimony at
the hearing the referee conducted. However,
Winkel was not charged with giving
untruthful testimony to the referee.
Therefore, to increase his punishment based
on the referee's conclusion that he was
untruthful denies Winkel due process of law.
¶59 To explain further, the referee
recommended a 100% increase in the 60-day
suspension that the OLR requested because
the referee believed that Winkel was not
honest in his testimony at the referee's
hearing. In that regard the referee said,
OLR's recommendation of a 60-day
suspension may have been appropriate before
the hearing started; by the time it ended it
was definitely not sufficient. Were I to
recommend a 60-day suspension here I would
be undercutting the values of truthfulness
and honesty which are at the very heart of
the legal system.
¶60 While the referee's comments about
Winkel's truthfulness may be a basis for a
new disciplinary charge, to discipline
Winkel for a count of misconduct without
notice or an opportunity to be heard
violates Winkel's right to due process. As
we have held, an attorney has a
constitutional due process right in a
disciplinary proceeding to "prior notice of
the charges, the right to prepare and defend
against the charges, and the right to a full
hearing" thereon. In re Disciplinary
Proceedings Against Gamino, 2005 WI 168,
¶48, 286 Wis. 2d 558, 707 N.W.2d 132.
Winkel had no notice of a charge that he
gave untruthful testimony, nor the right to
defend against it, nor a hearing on whether
the referee's conclusion was correct.
Because due process is foundational to our
disciplinary process, and because Winkel was
not accorded due process, I respectfully
dissent.
¶61 I also write because I have an
additional concern about what is permitted
when OLR proceeds on an ethical allegation.
My concern is that by providing proof of
past disciplinary history of an attorney as
he or she attempts to defend against current
charges, it is possible that a referee's
opinion of an attorney's alleged misconduct
may be prejudiced.
¶62 Here, the referee commented about
Winkel's veracity after his review of
Winkel's prior disciplinary history. The
last disciplinary matter arose from 2003
conduct, 12 years ago. However, the referee
drew from those two cases as a foundation
for his conclusion in this case. He also
reviewed the underlying reports of the
referees on those two cases, even though the
reports were not in the record of this
case. As he was drawing his conclusions,
the referee said, "his prior disciplinary
history involves this very same type of
misconduct. In this regard, a review of not
only the two prior decisions of this Court,
but also the underlying referees' reports,
is instructive."
¶63 Winkel's counsel noted the effect of
those prior proceedings on the referee's
consideration of Winkel's defense. He
suggested that, as with a jury, a fact-
finding referee should not be able to employ
a defendant's past disciplinary history as
proof of present conduct. I agree with
Winkel's counsel that past disciplinary
history should not be part of prosecution
for a new charge, although it is relevant in
deciding on the sanction if charges are
proved. I urge my colleagues on the court
to consider whether we need to amend our SCR
ch. 20 and ch. 22 to address this concern.
¶64 I am authorized to state that
Justice ANNETTE KINGSLAND ZIEGLER joins this
dissent.
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¶65 MICHAEL J. GABLEMAN,
J. (dissenting). I dissent from the
Court's opinion. I agree with Chief Justice
Roggensack that a 60 day suspension is
appropriate.
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